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| Prestige Wealth Management Group LLC
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| CRD # | 127381 |
| SEC # | 801-72627 |
| CIK # | 0001772715, 0001765850 |
| AUM | 666.4 M (2026-03-10) |
| Employees | 13 (31% Investors, 8% Brokers) |
| Fees | |
| Minimum | |
| Phone | 908-782-0001 |
| Address | 31 State Route 12 Flemington, NJ 08822 |
| Source | [IAPD] [EDGAR] [Website] [Twitter] [LinkedIn] [Facebook] |
| Total AUM ($M) |
|---|
| Fees and Compensation — Form ADV Part 2A (3/9/2026) [Brochure] |
|---|
Item 5 Fees and Compensation
A.
NON-WRAP FEE BASIS
The Registrant provides discretionary investment management services on a fee basis.
The Registrant’s annual fee shall be based upon a percentage (%) of the market value and
type of assets placed under the Registrant’s management, generally between 0.45% and
1.95%.
PRESTIGE WEALTH WRAP FEE PROGRAM
If a client determines to engage the Registrant to provide investment management
services on a wrap fee basis in accordance with the Registrant’s Program, the services
offered under, and the corresponding terms and conditions pertaining to, the Program are
discussed in the Wrap Fee Program Brochure, a copy of which is presented to all
prospective Program participants. Under the Program, the Registrant is able to offer
participants discretionary investment management services, for a single specified annual
Program fee, inclusive of trade execution, custody, reporting, and investment
management fees. The current annual Program fee ranges from 0.45% to 1.95%,
depending upon the amount and type of the Program assets.
Investment Management Fees: The Registrant bases its fee determination upon various
objective and subjective factors. As a result, clients could pay diverse fees based upon the
market value of their assets, the complexity of the engagement, the level and scope of the
overall investment advisory services to be rendered, and client negotiations. As a result of
these factors, similarly situated clients could pay diverse fees, and the services to be
provided by Registrant to any particular client could be available from other advisers at
lower fees. All clients and prospective clients should be guided accordingly.
Before engaging Registrant to provide investment advisory services, clients are required
to enter into a discretionary wrap or non-wrap Investment Advisory Agreement, setting
forth the terms and conditions of the engagement (including termination), which
describes the fees and services to be provided.
FINANCIAL PLANNING AND CONSULTING SERVICES (STAND-ALONE)
Registrant’s planning and consulting fees are negotiable, but generally range from $3,500
to $50,000 on a fixed fee basis, and from $500 to $750 on an hourly rate basis, depending
upon the level and scope of the service(s) required and the professional(s) rendering the
service(s).
B. Clients may elect to have the Registrant’s advisory fees deducted from their custodial
account. Both Registrant's Investment Advisory Agreement and the custodial/clearing
agreement may authorize the custodian to debit the account for the amount of the
Registrant's investment advisory fee and to directly remit that management fee to the
Registrant in compliance with regulatory procedures. In the limited event that the
Registrant bills the client directly, payment is due upon receipt of the Registrant’s
invoice.
C. As discussed below, unless the client directs otherwise or an individual client’s
circumstances require, the Registrant shall generally recommend that Charles Schwab
& Co. Inc., member SIPC (“Schwab”) serve as the broker-dealer/custodian for client
investment management assets.
Broker-dealers such as Schwab charge brokerage commissions, transaction, and/or other
type fees for affecting certain types of securities transactions (i.e., including transaction
fees for certain mutual funds, and mark-ups and mark-downs charged for fixed income
transactions, etc.). The types of securities for which transaction fees, commissions, and/or
other type fees (as well as the amount of those fees) shall differ depending upon the
broker-dealer/custodian. While certain custodians, including Schwab, generally (with the
potential exception for large orders) do not currently charge fees on individual equity
transactions (including ETFs), others do.
There can be no assurance that Schwab will not change their transaction fee pricing in the
future.
Schwab may also assess fees to clients who elect to receive trade confirmations and
account statements by regular mail rather than electronically.
Clients will incur, in addition to Registrant’s investment management fee, brokerage
commissions and/or transaction fees, and, relative to all mutual fund and exchange traded
fund purchases, charges imposed at the fund level (e.g., management fees and other fund
expenses).
Clients who engage the Registrant on a wrap fee basis will not incur brokerage
commissions and/or transaction custodial fees in addition to the Program fee.
D. Registrant's annual investment advisory fee shall be prorated and paid quarterly, in
advance, based upon the market value of the assets on the last business day of the
previous quarter, including any accrued interest. The Registrant shall also make
adjustments to its quarterly fees based upon inflows and outflows.
The Investment Advisory Agreement between the Registrant and the client will continue
in effect until terminated by either party by written notice in accordance with the terms of
the Investment Advisory Agreement. Upon termination, the Registrant shall refund the
pro-rated portion of the advanced advisory fee paid based upon the number of days
remaining in the billing quarter.
E. Commission Transactions. In the event that the client desires, the client can engage
certain of the Registrant’s investment advisor representatives, in their individual
capacities, as a registered representative of Osaic Wealth (“Osaic”), a FINRA member
broker-dealer, to implement investment recommendations on a commission basis. In the
... |
| Account Minimums and Types of Clients — Form ADV Part 2A (3/9/2026) [Brochure] |
|---|
Item 7 Types of Clients
The Registrant’s clients shall generally include individuals, business entities, trusts,
estates, and charitable organizations, pension and profit sharing plans. |
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| Apple Inc | 26.2 | ||
| Colgate Palmolive Co | 12.5 | ||
| Microsoft Corp | 8.9 | ||
| Johnson & Johnson | 8.2 | ||
| Alphabet Inc | 6.3 | ||
| Nvidia Corp | 5.4 | ||
| Merck & Co Inc | 4.5 | ||
| Lilly Eli & Co | 4.5 | ||
| J P Morgan Chase & Co | 4.4 | ||
| Broadcom Inc | 4.0 | ||
| View All | |||
| Holdings by Sector ($M) |
|---|
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 258 | 104.7 |
| (b) Individuals (high net worth individuals) | 182 | 561.7 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 1,366 | 666.4 |
| By Discretionary | ||
| Discretionary | 1,366 | 666.4 |
| Non-Discretionary | 0 | 0.0 |
| Total | 1,366 | 666.4 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 666.4 | |
| Total | 1,366 | 666.4 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 3 | [0001765850] | |
| 6-K | [0001765850] | |
| SC 13D | [0001765850] | |
| SC 13G | [0001765850] | |
| 13F-HR | [0001772715] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.4B |
| Clients | 1 |
| Serves | Institutional, Retail |
| Form 3/4/5 Subject | 2011 - 2026 |
|---|---|
| Chiu Chang-Wei | |
| Aurelion Inc | |
| Zheng Xiang | |
| Shimizu Tokihiko | |
| Xu Yanli Yuki | |
| Jin Xin Moore | |
| Schmidtke Bjorn Valentin Vennor | |
| Yu Herman Cheng-Chun | |
| Kazmerzak Qiang You | |
| He Jing | |
| View All | |
| Related Firms | State | AUM |
|---|---|---|
|
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|
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|
Prestige Wealth Services Group Inc
✚
|
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|
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|
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|
Oakwell Private Wealth Management LLC
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|
Veridan Wealth LLC
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|
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|
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|
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